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Current Employers
Wedbush Securities Inc.

Attn: Compliance Dept. 225 S. Lake Ave Penthouse, Pasadena, CA 91101 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-02-22
  • CA RA
    APPROVED
    Since 2023-02-22

Branch Locations

Tustin, CA • United States

225 S. Lake Ave Penthouse, Pasadena, CA 91101 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wedbush Morgan Securities Newport Beach CA 01/2008 12/2022
Equitable Advisors Llc New York NY 12/2022 02/2023
Wedbush Securities Los Angeles CA 02/2023 Present
  • 01/2008 → 12/2022
    Wedbush Morgan Securities
    Newport Beach, CA
  • 12/2022 → 02/2023
    New York, NY
  • 02/2023 → Present
    Wedbush Securities
    Los Angeles, CA
Previous Registrations
  • 2022-12-05 → 2023-03-02
    Tustin, CA
    Los Angeles, CA
  • 2008-01-23 → 2022-12-20
    Los Angeles, CA
    Tustin, CA
    Newport Beach, CA
    Pasadena, CA
    Los Angeles, CA
  • 2005-04-26 → 2008-01-23
    Raymond James Financial Services, Inc.
    Costa Mesa, CA
  • 2003-07-01 → 2005-04-15
    Newport Beach, CA
  • 2000-07-13 → 2003-07-01
    Prudential Equity Group, Llc
    Newport Beach, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-11-11
S65 Uniform Investment Adviser Law Examination 1992-08-03
S63 Uniform Securities Agent State Law Examination 1991-12-20
  • S66 Uniform Combined State Law Examination
    2013-11-11
  • S65 Uniform Investment Adviser Law Examination
    1992-08-03
  • S63 Uniform Securities Agent State Law Examination
    1991-12-20

View on SEC IAPD

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